Monkey Forest Consultingsds.fundforpeace.org/uploads/201409/mfc.pdf · 2014-09-17 · to the...
Transcript of Monkey Forest Consultingsds.fundforpeace.org/uploads/201409/mfc.pdf · 2014-09-17 · to the...
DESIGNING & IMPLEMENTING (OR IMPROVING) A
PROJECT LEVEL GRIEVANCE MECHANISM
Length of Lesson: 3 hours
Instructors: 1 Primary and 1 Assistant
Method: Lecture, interactive group discussion and practical exercise
Description:
This block of instruction is designed to provide the knowledge and tools
necessary to implement a new or improve an existing Grievance Mechanism at
site level. The lesson exposes participants to a five-phase implementation
model followed by a detailed look and discusses at each step that is necessary
to accomplish that phase. The block covers best practice notes and lessons
learned, or cautionary items, for each step. It ends with a practical workshop
that has participants use the knowledge obtained to develop an implementation
toolkit tailored to category 1-, 2- and 3-level projects.
DESIGNING & IMPLEMENTING GRIEVANCE
MECHANISMS – 5 PHASES
ScopingAssess
Grievance Risk
Develop Procedure
Review & Launch
Track & Monitor
Whether establishing a Community
Grievance Procedure for the first time,
or improving an existing one, the five
phases outlined above provide a clear
process.
SCOPING: ESTABLISH A DESIGN TEAM
ScopingAssess
Complaint Risk
Develop Procedure
Review and
Launch
Track and Monitor
Establish design teamWhat to do:
• Form your design team – Looking inside.
• Include staff of mixed seniority and functions from
the company (such as operations, environmental
affairs, community relations, legal affairs, contractors).
• Staffing the design team from just one function, such as
community relations or human resources, is unwise.
Best Practice: Develop a clear terms of reference and a work plan that outlines team
goals, roles and responsibilities, level of decision-making authority, reporting lines, tasks,
time frame, and products.
Caution: Teams must be representative and
manageable in terms of their size (8 to 12
members).
SCOPING: ENGAGE EXTERNAL STAKEHOLDERS
ScopingAssess
Complaint Risk
Develop Procedure
Review and
Launch
Track and Monitor
Engage External Stakeholders
Objective:
Establish early support and get preliminary
feedback from a balanced group of
community stakeholders.
What to do:
• Consult select stakeholders on key elements
of mechanism like access points, culture, etc.
• Determine the role and mandate of external
stakeholders.
• Look for key community champions who can
build support and people who represent the
community (traditional leaders, elected officials,
etc.)
Best Practice: Engagement and dialogue of
external stakeholders during the design process is
essential to build early trust in the CGM.
Attention: Start narrow then consult broadly,
especially other stakeholders who may be relevant
to the grievance handling process, such as Joint
Venture partners, regulators or contractors.
Attention: Determine the timing of involvement of
CGM users: too early poses process control and
management risks; too late risks undermining the
CGM’s perceived legitimacy.
SCOPING: DEFINE AND DETERMINE GOALS
ScopingAssess
Complaint Risk
Develop Procedure
Review and
Launch
Track and Monitor
Objective: Define scope and determine goals
The design team estimates the scope of
grievances to be handled and the purpose and
goals.
What to do:
• Preliminary review of the type of grievances that are likely
to arise or have arisen so far
• This estimate will be solidified in the risk assessment phase
but helps establish meaningful goals up-front
• The design and implementation must respond directly to the
purpose and goals defined.
• The purpose and goals must respond to fundamental
questions: Why is a grievance mechanism being
established? -- What do we hope to achieve in both the
short and long term?
SCOPING: DEFINE AND DETERMINE GOALS
ScopingAssess
Complaint Risk
Develop Procedure
Review and
Launch
Track and Monitor
What to do (cont):
• Also discuss the system’s purpose and the
underlying power relationships between the
company and community. Consider:
• Will the mechanism be oriented primarily
around concerns of the community or
around joint concerns of the company and
community?
• Is the mechanism oriented toward
identifying root causes of conflict and
addressing them through systemic change,
or is it exclusively focused on the resolution
of individual complaints?
Best Practice: Prioritize the type of
complaints that the mechanism will primarily
target.
Attention: How can the grievance
mechanism be structured in a way that does
not reinforce power inequities?
PHASE 2. ASSESS GRIEVANCE RISK
ScopingAssess
Complaint Risk
Develop Procedure
Review and
Launch
Track and Monitor
Determine exposure to grievance
Determine impact on scale and design
ASSESS RISK - DETERMINE EXPOSURE TO
GRIEVANCE
ScopingAssess
Complaint Risk
Develop Procedure
Review and
Launch
Track and Monitor
Determine exposure to grievance
Objective:
Assess the exposure of the project or asset to
‘grievance and complaint risk’ to help guide
decisions about design and resourcing
What to do:
• Conduct a Risk Assessment to assess your
exposure to grievances.
• See IPIECA Risk Assessment Tool
Best Practice: The procedure should be scaled
to risk and impact – meaning design and
resourcing should be proportional to the impacts
on affected stakeholders and the complaint risk
faced by the company.
Attention: The most effective way to
assess complaint or grievance risk
exposures is through ongoing stakeholder
consultation.
ASSESS COMPLAINT RISK - DETERMINE IMPACT
ON SCALE AND DESIGN
ScopingAssess
Complaint Risk
Develop Procedure
Review and
Launch
Track and Monitor
Determine impact on scale and design
Risk Assessment Checklist
PHASE 3. DEVELOP PROCEDURE
ScopingAssess
Complaint Risk
Develop Procedure
Review and
Launch
Track and Monitor
A new grievance mechanism
Improving existing procedures
Management framework
CASE STUDY: XSTRATA TAMPAKAN PROJECT
Xstrata became involved in the Tampakan Copper-Gold Project in the
Philippines in 2006. It implemented one of its template Grievance
Management Plans into the Project shortly after becoming involved.
For several years, management felt the plan worked effectively thought
it rarely recorded any grievances from local communities.
Is a GMP that produces very few grievances a sign of good
management or a good grievance system? Discuss.
CASE STUDY: XSTRATA TAMPAKAN PROJECT
In the end, the Grievance Design Team designed an entirely new GMP that
reflected and built in customary traditional indigenous (B’laan) dispute
resolution mechanisms. The new GMP was re-launched and became widely
used by all local community stakeholders. It was a system that they easily
understood, was based on their values and still fit into the company’s goals &
objectives and met international best practice standards.
PHASE 3. A NEW GRIEVANCE MECHANISM
ScopingAssess
Complaint Risk
Develop Procedure
Review and
Launch
Track and Monitor
A new grievance mechanism
Objective:
Establish a new Community Grievance procedure and
implementation plan
What to do:
• Define the scope of grievances accepted, and
the response to complaints outside your area of
responsibility.
• Incorporate findings from grievance risk
assessment into the CGM and implementation
plan.
• Use a generic Community Grievance Template
procedure as a starting point (see hand-out) then
modify the roles, responsibilities and workflow
as needed.
• Prepare an implementation plan that documents
how the Community Grievance procedure will be
implemented. Use the template as a starting point.
Best Practice: Characterize existing community systems
for handling grievances and locate local dispute resolution
capacity. Evaluate dynamics working for or against the
introduction of a grievance mechanism inside and outside the
company.
Attention: The Implementation Team is responsible for
ensuring compliance with applicable laws & regulations and
conformance with voluntary commitments. Before you
implement, take advice from your Legal Counsel.
STEPS FOR GRIEVANCE PROCESS
Step 1 – Receive, Acknowledge and Track
Step 2 – Screen, Assess and Assign
Step 3 – Investigation
Step 4 – Develop Resolution Options and Respond
Step 5 – Follow-up and Close Out
Step 6 – Learn and Report
Resolve successfully Appeal
PHASE 4. REVIEW AND LAUNCH
ScopingAssess
Complaint Risk
Develop Procedure
Review and
Launch
Track and Monitor
Review and refine the design
Design roll-out plan
Publicizing – getting the word out to communities
Train and support participants
Test and launch
PHASE 4. REVIEW AND LAUNCH
ScopingAssess
Complaint Risk
Develop Procedure
Review and
Launch
Track and Monitor
Design roll out plan
Objective:
Design the dissemination and the roll out plan
What to do:
The goal of this phase is to introduce the grievance
mechanism and promote its use. Successful
implementation requires:
Marketing materials that describe the
mechanism and its benefits in simple and
visual terms
A communication and outreach strategy
that educates community members and
company or contract managers and
employees about the system and their role
Training for personnel administering the
system and for those designated to accept
complaints.
Best Practice:
The following points are worth considering when
developing briefing sessions for company employees and
contractors:
• Focus sessions on why the grievance mechanism is
in place;
• Discuss roles and expectations of employees and
contractors;
• Highlight the constructive role of community dissent
in project operations;
• Emphasize that there will be absolutely no reprisals.
PHASE 5. TRACK & MONITOR
ScopingAssess
Complaint Risk
Develop Procedure
Review and
Launch
Track and Monitor
Collect social performance data
Monitor effectiveness of mechanism
Learn and improve
PHASE 5. TRACK & MONITOR
ScopingAssess
Complaint Risk
Develop Procedure
Review and
Launch
Track and Monitor
Collect social performance data
Objective: Collect social performance data and
monitor effectiveness of the CGM
What to do:
Collect data - number, type and severity of grievances
received, other KPI repeat grievances
Track data - measure the effectiveness of the
Mechanism such, timelines, consistency in responses
etc.
Track user satisfaction - on outcome as well as
process
Root cause analysis – What caused a grievance and
how to prevent its reoccurrence.
Best Practice: Set targets that encourage
questions and grievances to be captured.
Operations with more grievances often
have better relationships than those with
fewer.
Attention Box: Seek feedback from stakeholders
about how the Community Grievance Mechanism is
functioning.
Tools: Complaint outcome forms Grievances Tracking Spreadsheet
PHASE 4. REVIEW AND LAUNCH
Initiating –Kick Off
Assess Complaint
Risk
Develop Procedure
Review and
Launch
Track and Monitor
Learn and improve
Best Practice: Questions targeted toward
evaluating organizational learning and improving
company policies, procedures, and operations
include:
What kind of demonstrable change and
improvement is the mechanism producing
in project operations, management
systems, and benefits for communities?
How does the mechanism facilitate
identification of root causes of conflict?
What actions has the company taken to
address these root causes? Is the
company adopting any structural
changes?
Best Practice: Provide transparency to external
stakeholders on the trends in grievances observed
and the results and effectiveness of the
mechanism